EP Determination Letter Resource Guide - Quality Assurance & Cases Selected for the Review Process
The role of the Quality Assurance Staff (QAS) is to measure the quality of work done on Employee Plans (EP) determination cases. This is done to ensure that consistency and quality are maintained in application review and development.
The QAS is staffed by a Manager and a centralized determination review team.
After all necessary additional information is secured by a Technical Screener/Specialist, a determination letter is prepared and the case is submitted to the Group Manager. The Group Manager then approves the case for closing. All cases are subject to a random sampling and/or mandatory review of the case before the determination letter is issued.
Once a case is received by the QAS, an assignment letter is issued to the Plan Sponsor (or Employer) and the Power of Attorney providing the reviewer's name and phone number.
If all issues have been addressed and resolved, the favorable determination letter will be issued.
However, a case may be returned to the EP Specialist if further development is warranted. This may delay the case closing process. When the plan's review is complete and accurate, the QAS will issue the favorable determination letter.